Senior Compliance Officer

2 weeks ago

Solapur, Maharashtra, India beBeeCompliance Full time ₹ 12,80,000 - ₹ 13,12,000

Key Responsibilities:

  • Perform activities related to membership compliance of the Exchange, ensuring a no-error work environment.

Key Result Areas:

1. Change in Director's Details:

  • Scrutinize and process applications for change in directors as per Exchange/SEBI norms.
  • Screen all applications related to change in director details, shareholding/DPG pattern, and transfer of membership.
  • Maintain records, update control sheets, and follow up with members via mail and phone calls.

2. Change in Shareholding/DPG Pattern/Constitution/Re-constitution of Partnership Firm:

  • Scrutinize and process shareholding/DPG pattern constitution/re-constitution of partnership firm applications.
  • Keep records up-to-date, maintain control sheets, and follow up with members via mail and phone calls.

3. Change in Member Entity Name and Office Address:

  • Process applications as per norms, update SEBI Portal, and ensure error-free processing within prescribed TAT.
  • Update member names and addresses in CRM databases as per member requests, notify other departments.

4. Closure of Alerts in Trackwizz Application, Monthly Database, and MIS/Collation of Data for SEBI/Internal Departments:

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